Archive for July 2017

5 Steps to Managing Risk in Your Growing Company

A five-step process that guides the development of a governance and controls framework to protect your organization from the ever-increasing world of risks. (As featured in YPO Ignite Magazine, July 19, 2017) We all make mistakes. When I was working for a hedge fund, I watched one trader sell a bond to another trader —…

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Rudimentary Compliance Reflections – Blockchain/DLT

“There is a risk of innovating as well as well as not innovating” Bethany Dugan, OCC, Deputy Comptroller of Operational Risk   Basic Terms: DLT (“Digitial Ledger Technology”): a form of technology such as Blockchain. Smart Contract: Contract between parties is written into code. The triggering event occurs and contract executes itself according to the…

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